Job Details

Compliance Manager

Sector:Financial Services

Region : Yorkshire & Humberside

Location: Leeds

Salary: Great Benefits

Job Ref.: SBCOMPLIANCE

Job Information

Reporting to: Director

Purpose of the role
An exciting opportunity has arisen for a reputable Financial Services practice. They are currently looking for a Compliance Manager.

The main purposes of the role are to support the Compliance Director with their duties to regulation, oversight and compliance to FCA rules and integrate/work with Financial Planners and Para-planners to ensure advice across the firm is compliant and of a high technical standard.

Main functions of the role:

• Create and maintain a Training & Competence Scheme and service standards for Financial Planners and Research Analysts within the company and ensure continued adherence and consistency in advice/reports across the offices.
• Create and maintain an internal ad hoc file checking system to ensure compliant client files and consistency across both offices.
• Regular documented feedback and training with Research Analysts and Financial Planners with regards file checking and technical issues.
• Completion of regular T&C 1-1s with the Financial Planners and maintenance of Risk Assessments of Financial Planners.
• Create and maintain a CPD Scheme which meets FCA standards and individual needs and objectives.
• Deal effectively and compliantly with client complaints received in line with FCA guidelines and regulations.
• Review and maintain compliance and complaints procedures within company to ensure continued compliance with TCF regulations.
• To ensure that all meetings, enquiries and subsequent dealings with clients or product providers are conducted in a professional manner and comply with the Company’s procedures.
• To participate in training sessions and meetings when requested or required by the Company.
• Provide and track management information and create quarterly compliance reports for senior management with analysis of risks identified.
• Work with the Senior Para-planner and Practise Manager to ensure reports are of a consistent standard and meet FCA guidelines and standards of advice;

Skills and Knowledge:

• Minimum DipPFS qualified and the desire to study to APFS level
• Have or desire to study towards a Compliance qualification
• Excellent computer skills including Word and Excel
• Excellent verbal and written communication skills
• An ability to prioritise your workload and meet deadlines
• Must have experience of reviewing files in line with FCA rules, including Pension Transfers and Inheritance Tax
• Detailed knowledge of FCA rules

The Quality Assurance Manager must be confident and discreet, able to work under pressure and keen to provide an essential support service to a hard working team of Financial Planners and Research Analysts whilst liaising with the Directors to ensure quality and consistency is maintained in reaching business standards.



If you would like to discuss this position further please contact Sam Bates at our Leeds office on 0113 2429411 or Email: sam.bates@cameron-james.co.uk